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SEC Prosecutions

SEC Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Obligated Person for Omissions

In the Matter of Casella Waste Systems, Inc., Respondent

  • 2016

Proceeding addressing self-reported violations in the form of material omissions in official statements for municipal securities by respondent, namely, failing to disclose that it had not been in material compliance with a prior agreement to provide continuing disclosure.

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